NSF 13-587: Partnerships for Innovation: Building Innovation Capacity (PFI: BIC)
Program Solicitation
Document Information
Document History
- Posted: August 12, 2013
- Replaces: NSF 12-578
- Replaced by: NSF 14-610
Program Solicitation NSF 13-587
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National Science Foundation |
Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time):
November 18, 2013
Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
January 27, 2014
Important Information And Revision Notes
This program solicitation, Partnerships for Innovation: Building Innovation Capacity (PFI: BIC), is pursuant to program solicitation NSF 12-578, but several important changes have been made.
Topic: "Smart" Service Systems. The program is seeking proposals with a focus on platform technologies to enable "smart" service systems.
Platform technologies [1] are generically defined as a set of technologies that are related; are common to different businesses and product families; are distinctive and can provide competitive advantage and enable and accelerate a broad range of product development (tools, methods, etc.) In the business world, platform technologies are important because they provide a framework for reusing an initial investment in technological know-how in different markets and businesses in order to gain a competitive advantage.
Service systems are socio-technical configurations of people, technologies, organizations, and information designed to deliver services that create and deliver value to customers and other stakeholders by satisfying the needs, wants, and aspirations of customers while achieving positive economic, social, and environmental outcomes [2].
A feature of a service system is the participation and cooperation of the customer in the service and its delivery. A service system then requires an integration of knowledge and technologies from a range of disciplines, often including engineering, computer science, social science, behavioral science, and cognitive science, paired with market knowledge to increase its social benefit.
"Smart" service systems are systems capable of self-detection, self-diagnostic, self-corrective, or self-controlled functions through the incorporation of technologies for sensing, actuation, coordination, communication, control, etc.
PFI:BIC website information. Proposers should review the more comprehensive information provided on the website (https://www.nsf.gov/eng/iip/pfi/bic.jsp) before submitting the Letter of Intent.
Limit on number of proposals. An academic institution can submit a maximum of two (2) proposals as a lead institution.
Primary industrial partner(s) requirements have been relaxed. A minimum of one (1) industry partner of any size is required. This partner must be U.S.-based and have commercial revenues including sales, services, and licensing. Grants and government contracts may contribute to its revenues but may not constitute the entirety of its revenues. Note that subawards only can be allocated to business partners defined as a small business concern [3] (https://www.nsf.gov/eng/iip/sbir/definitions.jsp#sbc). See the Additional Eligibility Information section for details.
Other partners. Other partners, such as academic institutions, non-profit organizations, public sector organizations, and additional industry partners can be included.
A lead academic institution can participate as a subawardee on any other proposal submitted under this solicitation. Faculty and research scientists affiliated with a proposal submitted by a lead academic institution may participate as consultants on other proposals submitted under this solicitation.
Proposers must demonstrate understanding of potential commercial applications and markets of the platform technology and the "smart" service system or systems to be advanced by the proposed project. See the Full Proposal Preparation and Program Description sections for details.
Mentoring plan for participating students. In addition to the required mentoring plan for postdoctoral researchers, a mentoring plan is required for each graduate and/or undergraduate student receiving support from the project. These mentoring plans should be concise and focus on specifically referencing the role of the student or post-doc on the PFI:BIC academe-industry partnership project.
Additional merit review criteria have been updated. See the "Other Additional Review Criteria" section for details.
Automatic compliance checking. Beginning on March 18, 2013, the NSF FastLane System has begun automated compliance checking for all required sections of full proposals. Please review the following Dear Colleague Letter for more details: https://www.nsf.gov/pubs/2013/nsf13066/nsf13066.jsp
[1] Small-Business/ ERC Collaborative Opportunity: (SECO) Funded by the ERC Translational Research Fund and the SBIR Program, PROGRAM SOLICITATION NSF 13-551.
[2] Spohrer J, Maglio PP, Bailey J, Gruhl D (2007). Towards a science of service systems. Computer 40(1):71-77. doi:10.1109/MC.2007.33
[3] Small Business Concern (SBC) refers in this solicitation to a business concern that at the time of the submission of the PFI:BIC proposal meets the following criteria: "Is organized for profit, with a place of business located in the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor; is in the legal form of an individual proprietorship, partnership, limited liability company, corporation, joint venture, association, trust or cooperative, except that where the form is a joint venture there can be no more than 49 percent participation by foreign business entities in the joint venture; is at least 51 percent owned and controlled by one or more individuals who are citizens of, or permanent resident aliens in, the United States; and has, including its affiliates, not more than 500 employees". See SBIR/STTR Size Determination for more information.
Summary Of Program Requirements
General Information
Program Title:
Partnerships for Innovation: Building Innovation Capacity (PFI: BIC)
Synopsis of Program:
The Partnerships for Innovation: Building Innovation Capacity (PFI:BIC) program supports academe-industry partnerships, which are led by an interdisciplinary academic research team with a least one industry partner, to collaborate in building technological and human innovation capacity [4]. This innovation capacity is intended to endure beyond the initial award. Partnerships that build the capacity to innovate are expected to be effective at innovating and able to continue to innovate. They are highly intentional about creating an environment that fosters innovation. These partnerships not only develop new technology but also foster the development of human capital that embraces a culture of change, nurtures the generation of new ideas, and considers feedback an integral part of the innovation processes. Partnership members are diverse, representing a spectrum of backgrounds, perspectives, and skills. Partnership activities that drive sustained innovation include the targeted allocation of resources such as capital, time, facilities; and sharing of knowledge in a cross-organizational and interdisciplinary context.
The PFI:BIC partnership team should focus on technological innovations with potential for significant economic/societal impact. The team collaborates on research, focusing on novel applications motivated by existing research discoveries and based on a platform technology with the potential to achieve transformational change in existing service systems or to spur entirely new service systems. To attain this goal, these partnerships, which inherently require interdisciplinary research, must address what is needed to advance this technology so as to enable a "smart" service system or systems to enter into the commercialization process, succeed in the marketplace, and achieve positive economic, social, and environmental outcomes. Such advancement involves not only engineering, computer science, and other fields of science, but also an understanding of the potential interaction of the technology with customers and the broader public affected by the technology, the "socio-technical system." A full understanding of the socio-technical system will require interdisciplinary teams that include social, behavior, and/or cognitive sciences. Finally, the team should demonstrate an understanding of potential commercial applications and markets, which should contribute to guiding the project activities.
Examples [5] of technology applied to service systems include smart healthcare, smart cities, on-demand transportation, precision agriculture, smart infrastructure, and other technologies enabling self-service and customized service solutions.
WEBINARS: Webinars will be held to answer questions about the solicitation. Register on the BIC website where details will be posted (https://www.nsf.gov/eng/iip/pfi/bic.jsp). In addition to potential applicants and their partners, Vice Presidents for Research and academic personnel concerned with the review of their institutions' selection of candidates for submission as well as individuals from Sponsored Research Offices are encouraged to attend.
[4] Rockefeller Foundation (n.d.). "Six Factors that Boost an Organization's Capacity to Innovate"
[5] Note that examples have been provided throughout this solicitation to provide a sense of the variety of possibilities across types of service systems and enabling technologies, but by no means are they intended to represent program emphases or priorities.
Cognizant Program Officer(s):
Please note that the following information is current at the time of publishing. See program website for any updates to the points of contact.
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Sara B. Nerlove, PFI:BIC, Program Director, telephone: (703) 292-7077, email: snerlove@nsf.gov
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Larry Hornak, ENG, telephone: (703) 292-2678, email: lhornak@nsf.gov
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Alexandra Medina-Borja, ENG/OAD, telephone: (703) 292-7557, email: amedinab@nsf.gov
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Edwin Romeijn, ENG, telephone: (703) 292-2211, email: eromeijn@nsf.gov
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Ralph Wachter, CISE, telephone: (703) 292-8950, email: rwachter@nsf.gov
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Heng Xu, telephone: (703) 292-8643, email: hxu@nsf.gov
Applicable Catalog of Federal Domestic Assistance (CFDA) Number(s):
- 47.041 --- Engineering
Award Information
Anticipated Type of Award: Standard Grant or Continuing Grant
Estimated Number of Awards: 10
Anticipated Funding Amount: $8,000,000
- Anticipated Funding Amount is subject to the availability of funds and the quality of proposals received.
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Awards may be up to $800,000 with an award duration of three (3) years.
Eligibility Information
Who May Submit Proposals:
Proposals may only be submitted by the following:
U.S. universities and two-and four-year colleges (including community and technical colleges) accredited in, and having a campus located in the U.S., acting on behalf of their faculty members. Such organizations also are referred to as academic institutions. The lead (submitting) organization must be an academic institution.
Collaborative proposals between organizations are not permitted. (A collaborative proposal is defined as simultaneous proposal submissions for a joint project from different organizations, with each organization requesting a separate award).
Who May Serve as PI:
The PI cannot concurrently be a PI on more than one active Partnerships for Innovation: Building Innovation Capacity award.
A PI who submits a proposal in response to this program solicitation may not submit a proposal for funding consideration in the same fiscal year to the Partnerships for Innovation: Accelerating Innovation Research program.
Limit on Number of Proposals per Organization: 2
Academic institutions are limited to participation on two (2) proposals as a lead institution. A lead academic institution that has submitted a proposal has the option to participate as a subawardee on any other proposal submitted under this solicitation. Lead academic institutions that have submitted a proposal may also provide consultants to other proposals submitted under this solicitation.
Limit on Number of Proposals per PI or Co-PI: 1
Proposal Preparation and Submission Instructions
A. Proposal Preparation Instructions
- Letters of Intent: Submission of Letters of Intent is required. Please see the full text of this solicitation for further information.
- Preliminary Proposal Submission: Not Applicable
- Full Proposals:
- Full Proposals submitted via FastLane: NSF Proposal and Award Policies and Procedures Guide, Part I: Grant Proposal Guide (GPG) Guidelines apply. The complete text of the GPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg.
- Full Proposals submitted via Grants.gov: NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov Guidelines apply (Note: The NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide)
B. Budgetary Information
- Cost Sharing Requirements: Inclusion of voluntary committed cost sharing is prohibited.
- Indirect Cost (F&A) Limitations: Not Applicable
- Other Budgetary Limitations: Other budgetary limitations apply. Please see the full text of this solicitation for further information.
C. Due Dates
- Letter of Intent Due Date(s) (required) (due by 5 p.m. proposer's local time):
November 18, 2013
- Full Proposal Deadline(s) (due by 5 p.m. proposer's local time):
January 27, 2014
Proposal Review Information Criteria
Merit Review Criteria: National Science Board approved criteria. Additional merit review considerations apply. Please see the full text of this solicitation for further information.
Award Administration Information
Award Conditions: Standard NSF award conditions apply.
Reporting Requirements: Standard NSF reporting requirements apply.
I. Introduction
National economic and societal prosperity is increasingly more dependent upon research and technology. Thus, NSF's role of supporting fundamental research across all fields of science and engineering has become ever more relevant to economic competitiveness and value creation. The Partnerships for Innovation: Building Innovation Capacity (PFI:BIC) program establishes and expands partnerships so that existing research discoveries can provide the motivation and foundation to advance technological areas with high potential. These strategic partnerships, which create an academe-industry collaborative culture to build innovation capacity, are in a position to increase the readiness of platform technologies so as to realize and expand their market potential.
Other federal programs also contribute to the goal of innovation. Internal to NSF, there are the following programs: Partnerships for Innovation: Accelerating Innovation Research (PFI: AIR), Innovation Corps (I-Corps), Small Business Innovation Research/Small Business Technology Transfer Research (SBIR/STTR), Grant Opportunities for Academic Liaison with Industry (GOALI), and Industry University Cooperative Research Centers (I/UCRC). For more information on these programs, go to the Division of Industrial Innovation and Partnerships website: https://www.nsf.gov/div/index.jsp?org=IIP.
II. Program Description
The service sector employed approximately 79% of American workers in 2010 [6] and was responsible for 79.7% of the U.S. GDP in 2012, an increase of just under 3% compared to 2010 [7]. Also notable is the increasing role of engineering and value-added services in the manufacturing sector. Given the importance of the service sector and the potential social and economic benefits of "smart" service systems, the Directorate for Engineering of the National Science Foundation invites requests for funding in the area of "smart" service systems under the Partnerships for Innovation: Building Innovation Capacity (PFI:BIC) solicitation. Proposals should focus on platform technology motivated by existing research discoveries that has the potential to achieve transformational change in existing service systems or to spur entirely new systems. The hallmark of PFI:BIC is an academe-industry partnership crafted to collaborate on research to address the central issue of identifying and advancing key platform technologies so as to enable "smart" service systems to enter into the commercialization process and to help insure positive social outcomes that would result from successful commercialization.
The perspectives, competencies, and commitments of both academe and business are needed to address this central issue. Therefore, platform technology advancement should be informed by a deep understanding of potential service systems where the technology could be implemented. A clear understanding of the market need and the competitive landscape should help guide project activities. At least one industry partner is expected to contribute market understanding of one or more promising service applications.
Service systems are socio-technical configurations of people, technologies, organizations, and information designed to deliver services that create and deliver value to customers and other stakeholders by satisfying the needs, wants, and aspirations of customers while achieving positive economic, social, and environmental outcomes [8].
Service systems are becoming increasingly interdependent, often with interconnected configurations of customer-to-customer, provider-to-customer, and provider-to-provider links organized as a large-scale system-of-systems.
Although a service process is performed for the benefit of the customer, the degree of customer involvement in the service process depends on the nature of the process. For example, during a hospital stay, patients will participate in the service process whenever interacting with nurses or physicians. Patients' response to treatment or the way patients provide information could affect the outcome of the service. However, there will be portions of the service that would occur in parallel, independently of patients' direct involvement, such as the processes involved in handing out and reading lab test results by lab technicians and physicians. In the end, the interaction of patients with this system-of-systems will have a single goal: to improve patients' health status. This is why it is said that in order to be considered a service, providers, and recipients co-create value in one or multiple points of their interaction, but sometimes the customer could receive benefits from the sub-systems operating behind the scenes.
Hence, the integration of platform technologies in service systems enabling innovation can occur at different levels of the service system [9] :
- Service concept. Innovations in the service concept or the value proposition facilitated by platform technologies leading to the emergence of novel services never before considered. Examples include the emergence of online auction services in the 1990s or remote conferencing services facilitated by new technologies.
- Customer interface. Innovations in the customer interface or innovations introduced in the service encounter by the use of platform technologies. Examples include self-service technologies, auto-translating technologies, auto-diagnosing technologies, etc.
- Manner of delivery. Innovations in the way the service is delivered and the corresponding interaction with the service recipient. Examples include innovation in mailing logistics, mobile technology and apps, and online services that were initially provided over the phone or in person.
- Processing systems. Innovation in processing systems that feed service systems through the introduction of technologies, thereby creating value in the form of more efficient service systems or higher service quality on the back end but which do not necessarily involve the interface with the customer. Examples include communication technologies to track packages or inventory and algorithms to reduce human error in pharmacies.
Proposals for platform technologies to enable "smart" service systems may address one or more of the levels described above.
Smart cities, on-demand transportation, precision agriculture, smart healthcare, and smart infrastructure are all examples of service systems with the potential to improve quality of life. Solutions to improve government services, including self-service and customized service technologies, are also likely to improve efficiency and quality. Examples of other service systems where smart technologies could make a difference include disaster mitigation and humanitarian services, communication services, utilities, consulting and professional services, and hospitality services, to name a few.
This solicitation seeks proposals that focus on platform technologies to enable "smart" service systems. Examples include, but are not limited to, low-power consumption devices, biodegradable sensors, low-cost sensors, smart phone and tablet platforms, real-time decision making software, customer needs/behavior prediction, self-service and self-customization technologies, machine learning technologies and other intelligent systems, etc.
In addition, with more frequent and ubiquitous use of network linking information, people, processes, and products, a number of sectors, including manufacturing, are increasingly interested in services. This movement, termed "servitization" by Vandermerwe and Rada [10] in 1988, is ever more prevalent [11]. "Servitization", that is, the incorporation of services to increase product value and accessibility, leads to the development of service solutions by manufacturing firms that combine their tangible products with either standardized base services or customized services as an integral part of the value of the product. Servitization examples in manufacturing include but are not limited to changes in the business concept that change the paradigm from selling a product to selling a service. For example, maintenance packages have become more important than the actual product features in many cases. Service packages built into the purchase of a car may include automated emergency rescue services that are activated whenever the vehicle senses a situation of danger. The vehicle's location is communicated to emergency services, even if the driver is unconscious or unable to make a phone call. The European Union [12] recently made it mandatory that all cars manufactured after 2015 have this technology installed. A number of platform technologies are integrated into this system. Once triggered, the system dials the European emergency number, establishes a telephone link to the appropriate emergency call center, and sends details of the accident to the rescue services, including the time of incident, the accurate position of the crashed vehicle, and the direction of travel. These" smart" systems also presuppose a change in the supply chain of services. Emergency monitoring service centers able to communicate with the car and receive all this information had to be created when this technology was introduced.
As technological capabilities advance, there will be many challenging new problems related to the "scale effects" in "smart" service systems. Economies of scale and learning curves are well-known for industrial age economic systems and yet surprisingly are unexplored for the area of "smart" service systems. In fact, for a particular technology level, different scales may be optimal, such as new business models associated with putting solar panels on homes versus providing solar panels for a street, community, district, city, state, or nation. The PFI:BIC research partnership should stimulate considerations of scale that need to be anticipated for successful long-term implementation of "smart" technologies in services. Consider how having all cars on the road being able to communicate with emergency monitoring service centers at once will affect capacity, bandwidth needs, and other technological and human capital requirements.
Often paradigm-shifting innovation in service systems requires having the customer in mind as potential co-creator of the service. Proposals may involve the engagement of potential customers in the research process in any way considered to be effective, from the conceptualization of customer-inspired innovations to exploring a more formal role for customers in the testing of the platform technology application aimed at a specific service system. It is also expected that user-centered research will contribute to the effectiveness of "smart" service systems in meeting important societal needs, such as the need for technologies to better serve the public while delivering essential services. Considerations of how "smart" technology shapes customer behavior (e.g., real-time information on how much energy one household is using relative to neighboring households might modify consumption patterns); and conversely, how customers' cultural differences, socioeconomic and ethnic group identity, age, and other human factors may shape technology development (e.g., "smart" service systems that have customer interfaces that recognize and adapt to different languages, different cultural, gender, and age conventions, etc.) are appropriate.
Academe-Industry Partnerships
The strategic partnerships among academe, industry, and other stakeholders of the PFI:BIC program aim to build innovation capacity in two key ways: 1) technological innovation capacity, by focusing on technological innovations with significant potential for economic and societal impact; and 2) human innovation capacity, by activating academe-industry partnerships that are anticipated to have indelible effects on the partners; and by the participation of students and/or postdoctoral researchers, who are anticipated to develop the skill-sets, capabilities, and motivation to become future innovators in partnership collaborations.
PFI:BIC partnerships must be of high quality, as evidenced by the partners' expertise, experience, and significant measurable commitment to the project, with clear contributions and technical and/or economic "takeaways" [13] for all parties involved. The partnership must enable research accomplishments that would not have been possible without joining the perspectives of academe and industry at a formative stage. Moreover, it should be clear how the partners specifically complement each other in the context of the project.
The primary members of a partnership are an academic research team and at least one industry partner. However, other types of entities may be included (for-profit, non-profit, or public sector) as partners. Other entities also may be included in more peripheral roles as broader context partners. The selection of the partners and the blueprint of the partnership should be intended to enable the building of innovation capacity beyond the term of the initial award, generating long-term economic, societal benefits, including the development of human capital. It is expected that academic and industry participants will continue to conduct research and build innovation capacity in a similar collaborative manner in the future, whether or not in the context of this specific project or these specific partners.
Individual projects might require different configurations of partners, depending on the nature of the service system and the position of potential partners in regard to the final users. Therefore, different numbers and kinds of partners are anticipated. Examples follow:
- A project could target a type of service system that requires the integration of several technologies into a device that will be used to improve the user-interface. One primary industrial partner might be the company that has the capability to manufacture the device by integrating this and other technologies into a final product; however, a second industrial partner might be the company or organization that actually provides the service and integrates the device into its service system. For example, imaging platform technologies could be used in devices that facilitate self-service processes in several service systems, such as airlines, banking, etc. The imaging technology also needs to be integrated with other technologies to build the final user-interface. Therefore, in this project, at least two primary partners are essential: one company with the ability to integrate the technology and a second organization that could use it.
- In other cases, the company with the ability to integrate the technology also delivers the service itself. Therefore, advancing the platform technology, the voice of the customer, and an appreciation of the final market could be provided to the project by only one organization. For example, preference prediction algorithms used as personalization technology in e-commerce applications can be integrated into the service system by the same industrial partner that delivers the service.
To facilitate the partners' collaboration in an open innovation context, NSF will require signed written cooperative research agreements (CRAs) between the lead institution and the primary industrial partner(s) and other applicable partners at the time of recommendation for an award. See the Full Proposal Submission Instructions section for more details.
Technological Innovation Capacity
PFI:BIC partnerships should expand the capacity of academe and industry research teams to advance a platform technology so as to enable "smart" service systems, taking post-discovery research from the academic bench to a state of readiness to enter into the commercialization process. The approach should focus on overcoming critical obstacles or barriers, identifying potential market(s) (adding new possibilities as the research progresses), and further understanding of how to meet the needs of those markets.
Human Innovation Capacity
Engaging in the PFI-BIC project activities should provide opportunities for the development and growth of academic faculty and research scientists and industrial participants through cross-organizational collaboration. Over and above the complementarities of the interdisciplinary knowledge of the individual partners are those at the organizational level: the research will benefit in ways that it could not from the involvement of academe or industry alone.
PFI:BIC partnerships will develop the next generation of researchers and entrepreneurs through student and/or post-doctoral researcher participation in and exposure to the academe-industry collaboration. They will simultaneously be linked to: 1) science and technology and 2) real-world challenges and opportunities for identification of commercial applications within the broader market. A defining purpose of PFI:BIC projects is the enculturation of students and/or postdoctoral researchers. These participants should have a role in and receive support from the partnership project, with some opportunity to be immersed in the interaction and collaborate actively with the partners from industry and other organizational entities as well as from academe. The opportunity to engage customers in the development process, which is essential to service systems, can also become a source of unique experiences important in fostering the next generation of innovators.
[6] I ndustry employment and output projections to 2020," published in the January 2012 Monthly Labor Review of the Bureau of Labor Statistics.
[7] Field Listing - GDP composition by sector. CIA World Factbook (2010 and 2012).
[8] See footnote 2
[9] Den Hertog, Pim (2000). Knowledge-Intensive Business Services as Co-Producers of Innovation International Journal of Innovation Management Vol. 4, No. 4 (December) pp. 491-528
[10] Vandermerwe, Sandra and Rada, Juan (1988). Servitization of business: Adding value by adding services, European Management Journal, Volume 6, Issue 4, Winter, pp. 314-324.
[11] Turunen, T. (2013). Organizing Service Operations in Manufacturing. Aalto University publication series, Doctoral dissertations 4/2013. Permanent link: http://urn.fi/URN:ISBN:978-952-60-4962-5
[12] European Commission (2013). eCall: automated emergency call for road accidents mandatory in cars from 2015. IP/13/534 Event Date: June 13, 2013. http://europa.eu/rapid/press-release_IP-13-534_en.htm
[13] "Takeaways"-are defined as capabilities, competencies, or more tangible items that one can take possession of and can move forward with (vs. a benefit that may be merely received and enjoyed). Takeaways are for the primary partners--academe, business, and other--and also include the strategy that has the potential to build the innovation capacity.
III. Award Information
Estimated program budget, number of awards and average award size/duration are subject to the availability of funds.
NSF will make awards subject to the availability of funds and quality of proposals. Awards may be up to $800,000, with an award duration of three (3) years. In other words, the total budget request to NSF for the lead institution and all others participating in the project cannot exceed $800,000.
As appropriate, awardees have the option to allocate funds for the participation of industrial partners and other primary partners in the project research activities in the form of subawards. Whether or not the option to allocate funds to the partners is exercised, it should be clear how the funds and other resources of the project (e.g., special facilities, equipment, and students) are shared by the partnership.
IV. Eligibility Information
Who May Submit Proposals:
Proposals may only be submitted by the following:
U.S. universities and two-and four-year colleges (including community and technical colleges) accredited in, and having a campus located in the U.S., acting on behalf of their faculty members. Such organizations also are referred to as academic institutions. The lead (submitting) organization must be an academic institution.
Collaborative proposals between organizations are not permitted. (A collaborative proposal is defined as simultaneous proposal submissions for a joint project from different organizations, with each organization requesting a separate award).
Who May Serve as PI:
The PI cannot concurrently be a PI on more than one active Partnerships for Innovation: Building Innovation Capacity award.
A PI who submits a proposal in response to this program solicitation may not submit a proposal for funding consideration in the same fiscal year to the Partnerships for Innovation: Accelerating Innovation Research program.
Limit on Number of Proposals per Organization: 2
Academic institutions are limited to participation on two (2) proposals as a lead institution. A lead academic institution that has submitted a proposal has the option to participate as a subawardee on any other proposal submitted under this solicitation. Lead academic institutions that have submitted a proposal may also provide consultants to other proposals submitted under this solicitation.
Limit on Number of Proposals per PI or Co-PI: 1
Additional Eligibility Info:
Minimum: One (1) U.S.-based industrial partner organization must participate on the BIC proposal.
Revenues: The industrial partner must have commercial revenues including sales, services, and licensing. Grants may contribute to its revenues but may not constitute the entirety of its revenues.
Subawards or Direct Funds from the Grant: Only industrial partners that qualify as a small business per the Small Business Innovation Research (SBIR) program definition [14] can receive subawards.
Project Team and Project Description: Because service systems are socio-technical systems requiring understanding of people, organizations, and information, the team and the project must contain expertise and activity that reflect these requirements. An engineering, a computer science, and a social, behavioral and/or cognitive science component are all needed to develop technology with the appropriate understanding of the implications for the integration of the platform technology with the service system, the usability of the service system, and other human factors. Participation of other scientific fields whenever appropriate is encouraged.
[14] See footnote 3
V. Proposal Preparation And Submission Instructions
A. Proposal Preparation Instructions
Letters of Intent(required):
To submit a proposal for this opportunity, the submission of a Letter of Intent (LOI) by the lead institution (i.e., the applicant institution) is required. LOIs are to be submitted via FastLane at http://fastlane.nsf.gov/. More comprehensive information on LOIs is available on the PFI:BIC website: https://www.nsf.gov/eng/iip/pfi/bic/BIC_letterofintent.jsp.
PURPOSE
The LOI is a pre-requisite to proposal submission.
- LOIs are necessary to help NSF prepare and deliver the best review process possible, including assembling panels with appropriate reviewer expertise.
- LOIs provide the NSF with an opportunity to examine proposed projects with respect to eligibility requirements and, in some instances, to identify correctible issues in terms of focus and eligibility.
The LOI will NOT be used as a screening device; that is, it will not be used to disallow full proposals.
In the event that there are changes to the LOI prior to submission of the proposal, it is important to communicate what those changes are to the Program Director.
SUBMISSION. Up to two (2) LOIs per institution can be submitted.
CONTENT/FORMAT
Letters of intent have length limitations. The first two sections are entitled, respectively, Synopsis (2500 characters maximum, including spaces); and Other Comments (2500 characters maximum, including spaces), which can be used wisely to convey important aspects of the project, such as information about the three required components: engineering, computer science, and social, behavioral and/or cognitive science and other scientific components, as applicable. It may also be needed to contain spillover from the Additional Information field, Primary Industrial Partner(s), see below.
Under Additional Information, information in only three (3) data fields is permitted. (Each data field can contain a maximum of 255 characters or approximately 30 words for each section.)
For PFI:BIC, these are as follows:
- For the Platform Technology: Describe briefly the platform technology and its potential to enable a smart service system or systems.
- For the Primary Industrial Partner(s), provide for each: Name, Founding Date, Number of Employees, Location (City & State), Commercial Revenues for the preceding calendar year, and Mission/Technical Foci. Reasonable abbreviations can be used. If you cannot accommodate the information, include the rest of the information under Other Comments (see above).
- For the Activities Advancing Platform Technology that Enables Smart Service System(s): List several major activities proposed as leading to barriers being overcome and/or the identification of new applications.
Letter of Intent Preparation Instructions:
When submitting a Letter of Intent through FastLane in response to this Program Solicitation please note the conditions outlined below:
- Sponsored Projects Office (SPO) Submission is required when submitting Letters of Intent
- A Minimum of 0 and Maximum of 4 Other Senior Project Personnel are allowed
- A Minimum of 0 and Maximum of 4 Other Participating Organizations are allowed
- Platform Technology is required when submitting Letters of Intent
- Primary Industrial Partner(s) is required when submitting Letters of Intent
- Activities Advancing Platform Technology that Enables Smart Service System(s) is required when submitting Letters of Intent
- Submission of multiple Letters of Intent is not allowed
Full Proposal Preparation Instructions: Proposers may opt to submit proposals in response to this Program Solicitation via Grants.gov or via the NSF FastLane system.
- Full proposals submitted via FastLane: Proposals submitted in response to this program solicitation should be prepared and submitted in accordance with the general guidelines contained in the NSF Grant Proposal Guide (GPG). The complete text of the GPG is available electronically on the NSF website at: https://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg. Paper copies of the GPG may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from nsfpubs@nsf.gov. Proposers are reminded to identify this program solicitation number in the program solicitation block on the NSF Cover Sheet For Proposal to the National Science Foundation. Compliance with this requirement is critical to determining the relevant proposal processing guidelines. Failure to submit this information may delay processing.
- Full proposals submitted via Grants.gov: Proposals submitted in response to this program solicitation via Grants.gov should be prepared and submitted in accordance with the NSF Grants.gov Application Guide: A Guide for the Preparation and Submission of NSF Applications via Grants.gov. The complete text of the NSF Grants.gov Application Guide is available on the Grants.gov website and on the NSF website at: (https://www.nsf.gov/publications/pub_summ.jsp?ods_key=grantsgovguide). To obtain copies of the Application Guide and Application Forms Package, click on the Apply tab on the Grants.gov site, then click on the Apply Step 1: Download a Grant Application Package and Application Instructions link and enter the funding opportunity number, (the program solicitation number without the NSF prefix) and press the Download Package button. Paper copies of the Grants.gov Application Guide also may be obtained from the NSF Publications Clearinghouse, telephone (703) 292-7827 or by e-mail from nsfpubs@nsf.gov.
Guide to Submission of a Proposal
For program information, contact Dr. Sara Nerlove, Program Director, (703) 292-7077, email: snerlove@nsf.gov
Cognizant Program Officers in the Directorate for Engineering (ENG), the Directorate for Computer & Information Science & Engineering (CISE), the Directorate for Mathematical & Physical Sciences (MPS), and the Directorate for Social, Behavioral & Economic Sciences (SBE)
- Dr. Larry Hornak, ENG, telephone: 703-292-2678, email: lhornak@nsf.gov
- Dr. Alexandra Medina-Borja, ENG/OAD, telephone: 703-292-7977, email: amedinab@nsf.gov
- Dr. Edwin Romeijn, ENG, telephone: 703-292-2211, email: eromeijn@nsf.gov
- Dr. Ralph Wachter, CISE, telephone: 703-8950, email: rwachter@nsf.gov
- Dr. Heng Xu, SBE, telephone: (703) 292-8643, email: hxu@nsf.gov
Note: the submission criteria outlined below are in addition to requirements contained within the NSF Grant Proposal Guide (GPG) or NSF Grants.gov Application Guide.
Full Proposal Preparation Instructions:
Active and early collaboration among the primary project partners is highly encouraged, beginning with the proposal preparation stage.
A. Cover Sheet
The Cover Sheet is automatically generated by FastLane or Grants.gov based on information entered into the "Cover Sheet" module. The title for each project should be preceded by PFI:BIC.
B. Project Summary
Proposals that do not contain the Project Summary, including an overview and separate statements on intellectual merit and broader impacts, will not be accepted by FastLane or will be returned without review. Additional instructions for preparation of the Project Summary are available in FastLane. The Project Summary should be written in the third person and shall begin as follows: "This Partnerships for Innovation: Building Innovation Capacity (PFI:BIC) project...." Provide the title of the proposed BIC project, the name of the PI, and the lead institution.
Box 1: Overview including Naming the Primary Industry Partner(s), and Key Words: A summary paragraph describing the potential outcome(s) of the proposed activity. Provide a statement of objectives and methods to be employed.
Provide a list of key words or phrases that identify the areas of expertise in science or engineering, which are to be invoked in reviewing the proposal. Identify the industry sector(s) to which the "smart" service system or systems innovation is to be initially directed.
Box 2: Intellectual Merit: No proprietary information should be included in the summary. Describe the potential of the proposed activity to enhance scientific and technological understanding both at the level of the platform technology and the "smart" service system.
Box 3: Broader Impacts: Describe the potential of the proposed activity to contribute to economic impact and contribute to the achievement of specific, desired societal outcomes. Information on the potential commercial value can be included in this section.
The aggregate of the three text boxes cannot exceed 4,600 characters.
C. Table of Contents
The table of contents is automatically generated by FastLane or Grants.gov.
D. Project Description
The project description cannot exceed 15 pages and must include the following parts:
Part 1. Narrative Description: Proposers (primary academic and industrial partner(s) and other primary partners, if applicable.) are encouraged to frame the proposal narrative to convey a convincing story. That is, rather than simply describing the potential of the platform technology, the novelty or significance of the proposed "smart" service system or systems and the research plan, proposers should present a compelling story to clearly articulate why this partnership provides the best approach to achieving the greatest impact. This story, while specific to each proposal, should contain at least the following elements: the importance of the research discovery; how the partnership came about; the exciting potential of the discovery to expand what the technology can enable, including market needs that might be addressed; how the partnership might evolve if the project is successful; and how the outcomes of the collaborative research will be greater than the sum of the primary individual (academic and industrial and other, if applicable) partners alone. Include, if applicable, lineage relating to research discoveries in past NSF awards. For each previously funded project, include the directorate name, division name, and award number.
Part 2. Management Plan: Provide a description of the respective roles, responsibilities, and resources of the partnership.
Part 3. Timetable: A table of the research tasks to be conducted, the designated partners to accomplish each task, and the timeline associated with each task.
Part 4. Intellectual Property: Include a discussion of any relevant background intellectual property held by the proposing institution and/or the industry partner, its availability for licensing, and an assessment of how another party might patent or practice around both background and anticipated intellectual property assets.
Part 5. Results from Prior NSF Support: If any PI or Co-PI identified on the project has received NSF funding in the past five years; information on the award(s) is required. Each PI and Co-PI who has received more than one award (excluding amendments) must report on the award most closely related to the proposal. The following information must be provided:
- NSF award number, amount and period of support
- title of the project
- number of publications resulting from the NSF award
E. References Cited
Provide a comprehensive listing of relevant reference sources, including patent citations.
F. Biographical Sketches
All participating personnel from industry and other (types of) primary partners (if applicable) as well as from academe who are not PIs or Co-PIs should be considered as "Non-Co-PI/Senior Personnel". Provide relevant biographical information for the Principal Investigator (PI), Co-Principal Investigators (Co-PIs), and Senior Personnel (including any consultant(s), and/or key member(s) on each subaward). This information should take the form of short "Biographical Sketch" documents (two pages maximum per person). Within each document, include at the top of the first page: the person's name, category of participation (PI, Co-PI, Industry/Other Organization Consultant, Academic Consultant, Industry Subawardee, Academic Subawardee, Industry/Other Organization Participant), and affiliation. Biographical sketches of industry participants need not conform to the standard academic format.
G. Budget, Subaward Budgets, and Consultants
The NSF Summary Proposal Budget is generated in FastLane or Grants.gov. Prepare a budget for each year. The system will automatically generate a cumulative budget for the entire project. All PIs, Co-PIs, and at least one named individual designated as responsible for the leadership of each subaward --this individual(s) must be listed under "A. Senior Personnel" on the subaward budget--and must spend time for which he/she receives salary. The amount of time may be limited, as deemed appropriate; but there must be a formal commitment.
Make clear how many participants there are under each of the categories of "B. Other Personnel" (e.g., 2 students per year cumulates to a total of 6 students on the cumulative budget, which in turn may actually mean that e.g., there are 2 students on the project for 3 years each, or 6 students, for one year each).
Travel costs can be included with careful justification, containing as much specificity as possible regarding the parties, locations/events, and purpose. Foreign travel is allowed.
The NSF does not intend to fund industrial or business research and development. Awarded funds may be allocated in the form of subawards, as appropriate, for participation of the industry in the project research activities, but subawards for industry are optional. The NSF will not provide funds for subawardees to businesses that do not meet the definition of a small business concern [14]. It should be clear in the budget justification and narrative how the NSF funds are shared by the partnership. In the "Facilities, Equipment, and Other Resources" section of the proposal, it should be clear how the other resources of the project (e.g., special facilities, equipment, and students) are shared by the partnership.
If consultants are used, consultant letter(s) must be provided with the number of days and the dollar amount per day, and the role of the consultant; provide an explicit statement that the consultant's role is deemed reasonable and necessary for the project (see below, Section J. Supplementary Documents).
H. Current and Pending Support
The proposal should provide information regarding all research to which the Principal Investigator and other senior personnel either have committed time or have planned to commit time. For all ongoing and proposed projects, the following information should be provided for the Principal Investigator and anyone designated as Senior Personnel in the submitted budget. (Use NSF Form 1239.)
- Name of sponsoring organization and add as a reference the award number;
- Title and performance period of the proposal; and
- Person-months/calendar months (per year) devoted to the project by the Principal Investigator and each of the senior personnel.
The proposal being submitted is considered "pending" (i.e., this proposal) and therefore MUST appear in the Current and Pending Support module.
I. Facilities, Equipment, and Other Resources
Discuss requirements for and the availability of facilities, equipment, and other resources for the proposed work provided by the lead academic institution and each of the partners.
J. Supplementary Documents
Proposals missing any of the required documents outlined below will be returned without review.
The following information must be provided as supplementary documents (unless otherwise indicated) and submitted to the Supplementary Docs module in FastLane or Grants.gov.
1) Project Framework. Consider the project framework as the PFI:BIC equivalent of an "elevator" speech. [Please use the template located: here]. Describe clearly and briefly (using no less than a 11-point font) the following items:
- Maximum 1 page:
- Problem: Frame the project research as a problem(s)
- Solution: Describe the path(s) to future impact in service systems
- Market: Describe the possible markets and commercial applications of the research outcomes. (Detailed market analyses are not necessary-but say what you can about market segment, size, and characteristics). A Letter of Support from a participant(s) in the market may lend credibility to this assessment. "See Letters of Support" also in this section (J. Supplementary Documents).
- Maximum 1 page:
